Unregistered Sales of Equity Securities and Use of Proceeds
−Removed: (a) During the second quarter of 2022, the Company did not issue any Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company.
+Added: (a) During the third quarter of 2022, the Company issued 17,098 shares of Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company for no cash consideration.
+Added: Such issuances were exempt
+Added: from registration pursuant to Section 4(a)(2) of the Securities Act.
(b) Not applicable.
2 unchanged sentences
Period Total number of shares purchased Average price paid per share Total number of shares purchased as part of publicly announced plans or programs Maximum number of shares that may yet be purchased under the plans or programs (2)
−Removed: April 1 - 30, 2022 (1) (2)
−Removed: 24,518 $43.83 24,518 339,990
−Removed: May 1 - 31, 2022 (3)
+Added: July 1 - 31, 2022 (1)
25,000 $35.00 25,000 540,778
−Removed: June 1 - 30, 2022 514,661 $34.54 514,661 29,278
+Added: August 1 - 31, 2022 109,693 $36.80 109,693 431,085
+Added: September 1 - 30, 2022 278,359 $32.61 278,359 152,726
Q3 2022 Total 413,052 $33.86 413,052 152,726
−Removed: (1) On May 15, 2020, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 530,000 shares of the Company's Class A Stock.
−Removed: (2) On February 28, 2022, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 518,000 shares of the Company's Class A Stock.
−Removed: (3) On May 24, 2022, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 550,000 shares of the Company's Class A Stock.
−Removed: (4) None of the foregoing authorizations are subject to expiration.
+Added: (1) On July 29, 2022, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 536,500 shares of the Company's Class A Stock.
+Added: (2) None of the foregoing authorizations is subject to expiration.
Certification of Albert G.
−Removed: Certification of Salvatore F.
+Added: Certification of Brad M .
Certification of Albert G.
−Removed: Lowenthal and Salvatore F.
+Added: Lowenthal and Brad M .
Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited):
−Removed: (i) the Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021, (ii) the Condensed Consolidated Income Statements for the three and six months ended June 30, 2022 and 2021, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and six months ended June 30, 2021 and 2022, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity for the three and six months ended June 30, 2021 and 2022, (v) the Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2021 and 2022, and (vi) the notes to the Condensed Consolidated Financial Statements.*
+Added: (i) the Condensed Consolidated Balance Sheets as of September 30, 2022 and December 31, 2021, (ii) the Condensed Consolidated Income Statements for the three and nine months ended September 30, 2022 and 2021, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and nine months ended September 30, 2021 and 2022, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity and Redeemable Noncontrolling Interests for the three and nine months ended September 30, 2021 and 2022, (v) the Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2021 and 2022, and (vi) the notes to the Condensed Consolidated Financial Statements.*
* This information is furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934.
−Removed: Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 29th day of July 2022.
+Added: Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 28th day of October 2022.
OPPENHEIMER HOLDINGS INC.
2 unchanged sentences
(Principal Executive Officer)
−Removed: /s/ Salvatore F.
−Removed: Agosta, Interim Chief Financial Officer
+Added: Watkins, Chief Financial Officer
(Principal Financial and Accounting Officer)
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.